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Introduction to Records Management in SharePoint 2013
Real World tips and tools to build out your SharePoint 2013 Records Management System
Noorez Khamis@nkhamishttp://www.khamis.net
March 10th, 2015
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Speaker Bio
Noorez Khamis aka “Rez” Solutions Architect Microsoft MVP
About me: SharePoint Solutions Architect @ Toyota Canada 13+ years in managing, leading, designing and implementing SharePoint
business solutions across a wide variety of verticals Involved in hundreds of projects spanning entire SharePoint spectrum including
enterprise scale document and records management systems Active blogger and involved in GTA SharePoint community MBA, MCTS, MCDBA, MCSD, MVP
twitter: @nkhamis blog: Rez’s SharePoint Blog Spot - http://www.khamis.net
So what’s this session about anyways?
Provide insight on how you can build a scalable and adaptable Records Management system on the SharePoint 2013 (and Office 365) system
Show many of the built in and add-on features that will help ease your SharePoint 2013 Enterprise Records Management deployment
Target Audiences: IT Professional SharePoint Administrator SharePoint Architect Information Architect
Agenda
Talk a little about the history of Records Management and SharePoint
SharePoint 2013 Records Management features breakdown
Walkthrough of some sample client requirements and help from YOU to choose which features we could use to implement them
Demo some sample configurations to meet those requirements
First Off….
What is a Record? Electronic or physical entity Organizationally important Requires retention for time period
When do you need Records Management functionality? Documents retained for legal, business, or regulatory reasons You need to lock records from being edited You need to dispose records when retention is met Pressure to comply with corporate and regulatory policies eDiscovery and holding - locating and protecting records related to litigation Provides Governance - Reduces Risk - Helps ensure Compliance
In SharePoint 2007….
In SharePoint 2010….
SharePoint 2010 Introduced….
Document IDs Managed Metadata Service (Term Store) Site Collection Auditing Content Organizer Compliance Details Holds and eDiscovery Content Type Publishing Hubs Multi-Level Retention Virtual folders and metadata based navigation Scaling Send To... Document Sets
More Info: http://www.khamis.net/Blog/Post/233/Records-Management-features-in-SharePoint-2010--Part-1---Introduction
In SharePoint 2013 …
Minor Improvements on most of the SharePoint 2010 features plus:
Unified eDiscovery & Holds
Site Policies for Closure and Deletion
Site Mailbox
To the Cloud….
Main focus for Microsoft with 2013
Majority of the new and existing Records Management (and other IM) features have feature parity with Office 365!
More Info: http://www.khamis.net/Blog/Post/273/SharePoint-2013-Server-–-What’s-new-and-different-–Part-1
SharePoint 2013 Records Management
So where do we start as a SharePoint Admin?
First thing, think Scalability and Performance!
In-depth current content inventory of Records (terabytes?)
Growth estimates
Bottom Line: Invest time in planning the SharePoint Logical Architecture for your Records Center
Why? Flexibility, Boundaries & Limitations
Boundaries and Limitations
More Info: http://www.khamis.net/Blog/Post/260/SharePoint-2010-vs--SharePoint-2013-Boundaries-and-Limits-Comparison
How SharePoint 2013 can help with scaling
Features to make it easier to scale to massive archives Remote Blob Storage Database query optimizations Internal timer job processing improvements New database indexing strategies, Minimal Download Distributed Cache, Highly scalable search, Request Management Shredded Storage – Send deltas to BLOBS in SQL
This allows: Tens of millions of records in a single Records Center Hundreds of millions of records in a distributed archive allowing many
Record Centers to bind together to act as one logical repository Fast searching
In Place Records Overview
In Place Records versus Records Centers
source: http://technet.microsoft.com/en-us/library/ee424394.aspx
Records Center In Place
Organizing Records Automatically routes to site or library via new content organizer Loosely and flexibly organized
Securing Records Full control on who can view, edit & delete Permissions can’t change but can restrict editing
and deleting
Locating Records All in one location Spread across your farm
Versioning Records Each version must be explicitly sent Automatically assumes all versions
Finding Records without leaving
your collaboration site
Not automatic, as requires a query but there is the new option of
leaving a short-cut to the record
Automatic
Untidiness with Records vs. non
Records
Not a problem, only records here Mix of both here but can create views
Auditing Enabled Depends on parent site
eDiscovery Records only Records and non-Records
Admin Security Records Manager Site Admins
Number of Sites Extra Records Center sites to manage Fewer Sites to manage
Scalability Reduces size of team sites and can expand Records Center site
collections into separate databases
Greater database and site collection size
Management Separate site or farm needed No additional site needed
Storage and Backup Can be stored and backed up in separate databases Same database as other documents
Document Sets Allowed Not supported
The biggest drawbacks of In Place RM
All of your Records are mixed in with non Records
What if you have a team site that you want to delete but can’t because of one declared Record?
Backing up Records is very important but using In Place requires backing up non Records as well
Less control of Records and Security for your Records Managers
There is no easy mechanism to report on all In Place Records across your SharePoint environment
But wait…. (Shameless Plug)
In Place Records Viewer on CodePlex allows you to nicely report on all of your In Place Records
source: http://sp2010inplacerecords.codeplex.com/
Managed Metadata Service
Centrally managed terms that you can define, and then use as attributes for list items in SharePoint
Can be used across lists, libraries, sites, site collections & web applications
Dynamic (better than choice field) as only managed in one location rather than each list column needs to be changed
How SharePoint 2013 can help with Taxonomy
Use Content Type Publishing Hubs Central location (any site collection) where you manage and publish
content types
Web applications can subscribe to hub and pull down published content types from hub and receive updates on the published content types
Deploy the Content Organizer
Allows routing decisions to be centrally organized
Users guided to enter appropriate metadata rather than being allowed to dump documents wherever they like
Used to route documents to the right folder based on content types and any other metadata that you require
Turn on Auditing on Site, List or Content Type
Customized audit report about individual record, item, column, content type, search or permissions
Specify events to audit such as open, edit, check out/in, move, copy, delete & restore
Predefined reports in excel format
Implement Multi-Level Retention Policies
Depending on how your logical architecture is setup, retention policies can be set by content type, library or folder
Multiple stages retention policies allow specification of entire document lifecycle as one policy (e.g. review Contracts every year, and delete after 7 years)
Ability to create hierarchal folder structures and manage retention at each folder in the hierarchy (or inherit from parent folders)
Turn on Document ID’s
Document ID is a unique identifier for any document
Provides static URL or permalink that opens the document associated with the ID, regardless of the location
Format can be customized to meet your specific needs
Metadata Defaults and Navigation
Defaults: Allows ability for automatically filling
in Metadata for a user Can be done at site level, list level OR
folder level Allows metadata defaults on hidden
columns
Navigation Allows tree view navigation via
metadata
Implement Send To… on other SharePoint Sites
“Send to" ECB menu option can be customized to send documents to multiple records management centers, not just one.
It can: Move document
Copy the document
Move it and leave a link to it so it is still accessible from original library
Configured in Central Admin General Application settings Configure Send to Connections
When sent to is configured to move and use a link, document appears with a short-cut symbol to it and points to the doc id
Site Mailboxes
Exchange and SharePoint integration
Provide 1 view in SharePoint or Outlook
One expiration policy for both SharePoint and Exchange
Drag emails from into document libraries
Manage emails as records
Corporate Data Loss and Protection
Data loss – huge issue for every company (i.e. Sony)
In Office 365/Exchange 2013, DLP (Data Loss Protection) now a core component
Inspect email flow by using Conditions, Actions and Exceptions
DLP - Turn on unified eDiscovery and holds
eDiscovery allows RM’s or Lawyers to find and lock down content related to litigation
For example, if a company is sued about how they use the word “eDiscovery”, records manager needs to find and process all content that contains the words “eDiscovery” or “electronic discovery”
Works across Exchange, SharePoint and Lync
No impact to user
In Place holds for SharePoint and Exchange
New Discovery Center site template
Site Policies
Retention policy extended to entire SharePoint sites
Site Compliance
closure events
expiry events
Read only events
Document Set Improvements
Support for Folders and OneNote
Search results Document Set Identification
Default documents set
CBS & CBQ web parts can query
Versioning improvements* Capture full document set as
version
Search directly in document set
Sample Records Management Requirements &
Sample File Plan & Retention Schedule - Finance
RecordCode
Record Type ResponsibleDepartment
Event Retention Period OfficialVersion
FIN01 Accounts Payable
May contain:Employee Expense ReportsInvoicesPurchase OrdersReceiptsRequisitionsVendor and Supplier InvoicesVendor SetupVouchers for Payments
FINANCE AND ACCOUNTING
N/A Declared Date + 3 (Delete Versions)
Declared Date + 5 (Delete Permanently)
In FinanceRecordsCenter
Requirement #1: System support of many records
Client has requirement to build out Logical Architecture to support a file plan/retention schedule that has 5 primary categories (i.e. 100 – Business Management, 200 – Finance & Accounting, 300 – Human
Resource, 400 –Legal & Procurement, 500 – Construction)
Client would like to use Records Center’s to achieve this
Each primary category has been estimated to support up to 150 GB of content
What are some of the RM aspects you should be considering?
Requirement #2: File codes for Finance
All Primary and Sub-Categories will need to have unique file codes
All documents in the Finance sub-site will need to be prefixed with “FIN01 “ so that they are easy to be found
Once sent to the Records Center, these should persist
What are some of the RM aspects you should be considering?
Requirement #3: IT Records
IT doesn’t want to send records to the Records Center, they would rather have their Records stay within their site
What are some of the RM aspects you should be considering?
Requirement #4: Default IT Invoices information
When anyone uploads an invoice to the IT Invoices folder, the responsible owner should be changed to “Jane Doe”
What are some of the RM aspects you should be considering?
Requirement #5: Payment Vouchers
Payment Vouchers are used across the organizations for various departments
Whenever they are uploaded to the system, user should be prompted to input currency (globally used field) and amount
What are some of the RM aspects you should be considering?
Requirement #6: Records Center
A payment voucher needs to be sent to the Records Center before being declared a Record
System should then move it, declare a record and leave a short cut on the original location
What are some of the RM aspects you should be considering?
Requirement #7: Currency Folders
Once a payment voucher gets to the Records Center, it should be routed to a Payment Vouchers library where it should be placed in a folder that matches the currency
There are thousands of Payment Vouchers each month
What are some of the RM aspects you should be considering?
Requirement #8: IT Records
IT would like a Technical Requirements document library where they can declare records directly in
Those items that aren’t declared a record should be deleted to recycle bin after 3 years and then permanently deleted after another 2 years
What are some of the RM aspects you should be considering?
Requirement #9: IT Auditing
IT would like full auditing turned on within their technical requirements document library
What are some of the RM aspects you should be considering?
Requirement #10: IT Team Sites Retention
IT would like to have sites that are not in use be closed for 1 year and then deleted after another 2 years
What are some of the RM aspects you should be considering?
Closing
In Closing…
While SharePoint 2013/Office 365 is vastly becoming a big player in Records Management, it takes careful planning and execution to implement a full solution that meets your RM needs
Use all or a combination of discussed SharePoint 2013 features Be aware of OOTB limitations:
Physical Records, Unique Identifiers, non meta-data based security, No event based retention, No ability to Supersede and Obsolete item,
Disposition tracking, File Plan Management, Reporting Metadata and versions
Consider 3rd party add-ons (Collabware, Gimmal, RecordPoint, etc…)
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